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Local Bank
2020-12-042021-11-07

Qualifying Full Bank
2020-12-042021-11-07

Full Bank
2020-12-042021-11-07

Wholesale Bank
2020-12-042021-11-07

Merchant Bank
2020-12-042021-11-07

Finance Company
2020-12-042021-11-07

Money Broker
2020-12-042021-11-07

Representative Office (Banking)
2020-12-042021-11-07

Financial Holding Company (Banking)
2020-12-042021-11-07

SGS Primary Dealer
2021-11-07

Capital Markets Services Licensee
2020-11-022020-12-042021-11-07

Approved CIS Trustee
2020-12-042021-11-07

Registered Fund Management Company
2020-11-232020-12-042021-11-07

Exempt Capital Markets Services Entity
2020-11-232020-12-042021-11-07

Exempt Corporate Finance Adviser
2020-12-042021-11-07

Licensed Trust Company
2020-12-042021-11-07

Exempt Trust Company
2020-12-042021-11-07

Exempt Person Providing Trust Services
2020-12-04 2021-11-07

Approved Exchange
2020-12-04 2021-11-07

Approved Holding Company
2021-11-07

Approved Clearing House
2021-11-07

Recognised Market Operator
2021-11-07

Recognised Clearing House
2021-11-07

Licensed Trade Repository
2021-11-07

Central Depository System
2021-11-07

Authorised Benchmark Administrator
2021-11-07

Licensed Financial Adviser
2020-12-042021-11-07

Exempt Person Providing Financial Advisory Services
2020-12-042021-11-07

Exempt Financial Adviser
2020-12-042021-11-07

Direct Insurer (Life)
2020-12-042021-11-07

Direct Insurer (General)
2020-12-042021-11-07

Direct Insurer (Composite)
2020-12-042021-11-07

Reinsurer (Life)
2020-12-042021-11-07

Reinsurer (General)
2020-12-042021-11-07

Reinsurer (Composite)
2020-12-042021-11-07

Captive Insurer (Life)
2020-12-04 2021-11-07

Captive Insurer (General)
2020-12-04 2021-11-07

Captive Insurer (Composite)
2020-12-042021-11-07

Lloyd's Asia Scheme
2021-11-07

Authorised Reinsurer (General)
2021-11-07

Authorised Reinsurer (Composite)
2021-11-07

Registered Insurance Broker
2021-11-07

Exempt Insurance Broker
2021-11-07

Financial Holding Company (Insurance)
2021-11-07

Licensed Credit Bureau
2021-11-07

Credit and Charge Card Licensee
2020-12-042021-11-07

Money-changing Licensee
2020-12-042021-11-07

Standard Payment Institution
2020-12-042021-11-07

Major Payment Institution
2020-12-042021-11-07

Designated Payment System Operator
2020-12-042021-11-07

Designated Payment System Settlement Institution
2020-12-042021-11-07



证券公司名录 List of securities firms
2020-102021-10

期货公司名录 List of futures firms
2016-05 2020-112021-10

证券投资基金托管人名录 List of securities investment fund custodians
2020-10 2021-10

公募基金管理机构名录 List of publicly offered fund managers
2020-102021-10

公募基金产品索引 List of publicly offered funds
2020-102021-10

证券投资咨询机构名录 List of securities investment consulting institutions
2020-10 2021-10

人民币合格境外机构投资者名录 List of RMB qualified foreign institutional investors (RQFII)
2020-10 2021-10

合格境外机构投资者名录 List of qualified foreign institutional investors (QFII)
2020-102021-10

合格境外机构投资者托管行名录 List of QFII custodians
2020-102021-10



新增的持牌人及註冊機構 Additions of licensed persons and registered institutions
2005-01 2011-01 2016-09 2020-11

刪除的持牌人及註冊機構 Removals of licensed persons and registered institutions
2005-03 2017-03 2018-10 2020-11



信託或公司服務持牌人 Trust or Company Service Provider Licensees
2019-02-03 2020-02-03 2021-02-03 2021-11-11



證券商 Securities firms
2020-12-052021-11-11



投信投顧公會會員名錄 Members of SITCA
2020-12-032021-11-11



都市銀行·信託銀行·地方銀行·外国銀行支店 City Banks, Trust Banks, Regional Banks and Foreign Bank Branches
2011-12-26 2020-09-01 2021-08-24

銀行持株会社 Bank Holding Companies
2016-04-01 2020-10-01 2021-10-01

信用金庫 Credit Associations (Shinkin Banks)
2015-11-20 2017-07-31 2020-09-07 2021-02-03

労働金庫 Labour Banks
2015-07-01

信用組合 Credit Cooperative (Shinkumi Banks)
2015-01-01 2020-04-30 2021-03-18

系統金融機関（農林中央金庫、信農連、信漁連） Keito Financial Institutions (The Norinchukin Bank and Credit Federations of Agricultural/ Fishermen Cooperatives)
2017-04-01 2021-04-01

兼営信託金融機関 Financial Institutions which engage in Trust Business
2020-11-04 2021-06-28

銀行代理業者 Bank’s Agents
2020-09-30 2021-06-30

郵便局銀行代理業者 Post Office Bank’s Agents
2020-03-31

信用金庫代理業者 Credit Association’s Agents
2015-04-01 2015-04-01 2020-04-30 2021-06-30

労働金庫代理業者 Labour Bank’s Agents
2020-01-01

信用組合代理業者 Credit Cooperative’s Agents
2012-11-26 2020-04-30 2021-03-18

外国銀行代理銀行 Foreign Bank’s Agent Banks
2020-11-05 2021-08-24

電子決済等代行業者 Electronic Payment Services Operators
2020-10-28 2021-10-28

信用金庫電子決済等代行業者（登録）
2020-05-28

信用金庫電子決済等代行業者等（届出） Credit Associations Electronic Payment Services Operators
2020-10-30 2021-10-05

金融サービス仲介業者等 Financial Agencies
2021-11-01

金融商品取引業者 Financial Instruments Business Operators
2012-07-31 2019-03-31 2020-08-31 2021-09-30

指定親会社一覧 Designated Parent Company
2017-12-01

登録金融機関 Registered Financial Institution
2020-09-01 2021-09-30

取引所取引許可業者 Authorized Transaction-at-Exchange Operators
2019-04-09

金融商品仲介業者 Financial Instruments Intermediary Service Providers
2016-04-30 2020-08-31 2021-09-30

証券金融会社 Securities Finance Companies
2017-10-01

登録投資法人 Registered Investment Corporation
2020-09-30 2021-09-30

プロ向けファンド届出者（適格機関投資家等特例業務届出者） Notifiers of Specially Permitted Businesses for Qualified Institutional Investors (SPBQII)
2020-09-30 2021-09-30

ファンド一覧 List of Funds
2020-09-30 2021-09-30

役員及び政令で定める使用人一覧 List of Officers and Employees Specified by a Cabinet Order
2020-09-30 2021-09-30

営業所又は事務所一覧 List of business offices or offices
2020-09-30 2021-09-30

信用格付業者 Credit Rating Agencies
2017-04-01

特定金融指標算出者 Specified Financial Benchmark Administrator
2017-06-19 2021-04-27

高速取引行為者 High Speed Traders
2020-10-15 2021-06-01

生命保険会社 Life Insurance Companies
2014-11-25 2015-04-01 2016-01-18 2020-09-23 2021-10-01

損害保険会社 Non-Life Insurance Companies
2014-12-24 2020-09-08 2021-10-01

保険持株会社 Insurance Holding Companies
2016-10-03 2020-11-01 2021-10-01

少額短期保険業者 Small Amount and Short-Term Insurance Companies
2020-11-05 2021-11-08

認可特定保険業者 Authorized Specified Insurers
2017-06-13 2019-10-07

保険仲立人 Insurance Brokers
2020-09-17 2021-07-01

信託会社（運用型·管理型） Trust Companies (Investment Based and Custodian Type)
2020-10-5 2021-10-7

自己信託会社 Self-trust Companies
2020-09-30 2021-09-30

信託契約代理店 Trust Agreement Agents
2020-09-30 2021-09-30

貸金業者 Money Lending Business Operators
2014-12-31 2020-10-31 2021-10-31

特定金融会社等 Specified Finance Companie
2020-10-31 2021-10-31

前払式支払手段（第三者型）発行者 Prepaid Payment Instrument Issuers (for Third-Party Business)
2020-10-31 2021-10-31

前払式支払手段（自家型）発行者 Prepaid Payment Instrument Issuers (for Own Business)
2012-05-31 2020-10-31 2021-10-31

資金移動業者 Fund Transfer Service Providers
2020-10-31 2021-10-31

特定目的会社 Specific Purpose Companies
2014-12-31 2020-10-31 2021-10-31

電子債権記録機関 Electronic Monetary Claim Recording Institution
2017-10-01 2021-09-08

暗号資産交換業者 Crypto-asset Exchange Service Providers
2020-11-01 2021-09-30

無尽業者 Mutual Financing Business Providers
2017-04-01

金融商品取引清算機関 Financial Instruments Clearing Organizations
2016-08-01 2021-10-11

外国金融商品取引清算機関 Foreign Financial Instruments Clearing Organizations
2020-03-12

資金清算機関 Fund Clearing Organization
2017-03-23 2021-02-15

振替機関 Book-Entry Transfer Institutions
2013-12-10 2021-10-11

取引情報蓄積機関 Trade Repository
2015-01-06

有限責任監査法人 Limited Liability Audit Corporation
2020-11-04 2021-05-14

外国監査法人等 Foreign Audit Firms and Individual Accountants
2020-10-12 2021-07-30



会員名簿（金融商品取引業者） Regular Member List
2021-02-01 2021-11-21

特定業務会員名簿（金融商品取引業者） Specified Business Member List
2021-02-01 2021-11-21

特別会員名簿（登録金融機関） Special Member List
2021-02-01 2021-11-21



Marketing Representatives
2018-10 2020-10 2021-11

Registered Venture Capital Corporations
2010-05-31 2010-06-30 2012-05-31 2016-06-30 2020-12-05 2021-11-21

Registered Venture Capital Management Corporations
2018-03-31 2020-12-05 2021-11-21

Registered Private Equity Management Corporations
2020-12-05 2021-11-21

Registered Private Equity Corporations
2021-11-21

Registered Capital Market Services Providers: Trustees
2017-09-30 2019-05-31 2020-12-05 2021-11-21

Registered Capital Market Services Providers: Issuing Houses
2020-12-05 2021-11-21

List of launched funds in relation to unit trust funds
2017-07-31 2019-09-30 2020-10-31 2021-09-30

List of launched funds in relation to wholesale funds
2017-09-30 2019-01-31 2020-10-31 2021-09-30

Financial planners with expanded scope
2021-11-21



Perusahaan efek Securities companies
2018-02 2018-12 2020-08-31 2020-12-05 2021-06-30



Registered Alternative Investment Funds
2016-11-15 2020-11-10 2020-12-19 2021-11-20

Registered Stock Brokers in Equity Segment
2020-11-10 2021-11-20

Registered Stock Brokers in Equity Derivative Segment
2020-11-10 2021-11-20

Registered Stock Brokers in Currency Derivative Segment
2020-11-07 2021-11-20

Registered Stock Brokers in Interest Rate Derivative Segment
2020-11-07 2021-11-20

Registered Stock Brokers in Debt Segment
2020-11-09 2021-11-20

Registered Stock Brokers in Commodity Derivative Segment
2020-11-05 2021-11-20

Banker to an Issue
2020-11-10 2021-11-20

Credit Rating Agency - CRA
2020-11-10 2021-11-20

Registered Collective Investment Management Company
2020-11-10 2021-11-20

Registered Custodians of Securities
2020-11-10 2021-11-20

Debentures Trustee
2020-11-10 2021-11-20

Designated Depository Participants
2019-01-10 2020-12-23

Qualified Depository Participants
2017-04-17

Registered Depository Participants - CDSL
2020-11-09 2021-11-20

Registered Depository Participants - NSDL
2020-11-10 2021-11-20

FPIs / Deemed FPIs (Erstwhile FIIs/QFIs)
2020-11-10 2021-11-20

Registered Foreign Venture Capital Investors
2020-11-04 2021-11-20

Investment Adviser
2020-10-24 2021-11-20

Registered Infrastructure Investment Trusts
2016-09-09 2020-11-10 2021-11-20

KYC (Know Your Client) Registration Agency registered with SEBI
2017-04-17

Merchant Bankers
2020-11-10 2021-11-20

Registered Mutual Funds
2020-11-09 2021-11-20

Registered Portfolio Managers
2020-11-10 2021-11-20

Registrars to an issue and share Transfer Agents
2020-11-09 2021-11-20

Research Analyst
2020-11-04 2021-11-20

Self-Certified Syndicate Banks under the Syndicate ASBA facility for other than Retail Category (equity issuances)
2020-07-13 2021-03-10

Self-Certified Syndicate Banks under the direct ASBA facility (equity issuances)
2020-07-13 2020-11-23

Underwriters
2020-11-09

Registered Venture Capital Funds
2012-04-02 2020-11-10 2021-11-20

Self Certified Syndicate Banks eligible as Issuer Banks for UPI
2020-07-13 2020-11-23

Self Certified Syndicate Banks eligible as Sponsor Banks for UPI
2020-07-13

Real Estate Investment Trust
2020-11-10 2021-11-20

List of mobile applications for using UPI in Public Issues
2020-10-16 2021-07-26

List of mobile applications for using UPI in Public Issues
2020-10-16 2021-07-26

Self-Certified Syndicate Banks under the direct ASBA facility (debt issuances)
2020-07-13 2021-03-22

Self-Certified Syndicate Banks under the Syndicate ASBA facility (debt issuances)
2020-07-13 2021-03-22



List of Trading Rights Entitlement Certificate (TREC) Holders
2016-02-04 2019-01-07 2020-11-11 2021-08-16



Registered Municipal Advisors
2015-03 2017-03 2019-04 2021-03

Active Broker-Dealers
2007-03 2009-03 2011-03 2013-03 2015-03 2017-03 2019-03 2021-03

Registered Investment Advisers
2006-06 2008-06 2010-06 2012-06 2014-06 2016-06 2018-06 2020-06

Exempt Reporting Advisers
2012-02 2014-02 2016-02 2018-02 2020-02



Mutuals Public Register
2020-12-05 2021-11-20

Register of Small Registered UK AIFMs
2020-12-05 2021-11-20

Investment Firms Register
2020-12-05 2021-11-20

DRSP, MTF, OTF and SI Register
2020-12-05 2021-11-20

Derivatives Trading Obligation Register
2021-03-13 2021-11-20

Social Entrepreneurship Funds
2021-03-21 2021-11-20

Venture Capital Funds
2021-03-13 2021-11-20

Firms with PSD Permissions
2021-03-21 2021-11-20

PSD Agents
2021-03-13 2021-11-20

E-Money Firms
2021-03-21 2021-11-20

Credit Institutions
2021-03-21 2021-11-20

EMD Agents
2021-03-21 2021-11-20

TPR and SRO firms with BCD permissions
2021-03-21 2021-11-20

TPR and SRO firms with E-money permissions
2021-03-21 2021-11-20

TPR and SRO firms with PSD permissions
2021-03-21 2021-11-20

PSD firms under TPR and SRO
2021-03-21 2021-11-20



Authorised banks, financial services providers, asset management companies, insurers and pension funds
2020-12-05 2021-11-20



Liste des Entreprises d'investissement habilitées à exercer en France
2015-01-01 2016-01-01 2017-01-01

REGAFI - Le registre des agents financiers
2021-11-19



Register of audit firms
2020-12-06 2021-11-21

Register of third-country audit entities
2020-12-06 2021-11-21

Register collective investment schemes
2020-12-06 2021-11-21

Register investment firms
2020-12-06 2021-11-21

Register financial service providers
2020-12-06 2021-11-21



List of banks and securities firms authorised by FINMA
2020-12-05 2021-11-21

List of Raiffeisen banks authorised by FINMA
2020-12-05 2021-11-21

List of representative offices of foreign banks and securities firms authorised by FINMA
2020-12-05 2021-11-21

List of banks and securities firms about to cease operations
2020-12-05 2021-11-21

List of persons licensed by FINMA pursuant to Article 1b BA (FinTech licence)
2020-12-05 2021-11-21

List of insurance companies authorised by FINMA
2020-12-05 2021-11-21

List of insurance groups authorised by FINMA (groups and conglomerates)
2020-12-05 2021-11-21

Liste aller liechtensteinischen Versicherungsunternehmen, welche im freien Dienstleistungsverkehr und/oder über eine Niederlassung in der Schweiz tätig sind
2020-12-05 2021-03-22

List of Swiss collective investment schemes authorised by FINMA
2020-12-05 2021-11-21

List of foreign collective investment schemes authorised by FINMA for offering in Switzerland
2020-12-05 2021-11-21

List of authorised fund management companies, managers of collective assets and representatives of foreign collective investment schemes
2020-12-05 2021-11-21

Liste der anerkannten elektronischen Plattformen im Sinne von Art. 39 KKV
2019-10-25

List of authorised foreign participants, authorised Swiss financial market infrastructures and recognised foreign financial market infrastructures
2020-12-05 2021-11-21

List of recognised foreign trading venues pursuant to the Federal Council Ordinance of 30 November 2018 on the Recognition of Foreign Trading Venues for the Trading of Equity Securities of Companies with Registered Office in Switzerland
2020-12-05 2021-11-21

List of domestic group companies under the Financial Institutions Act authorized by FINMA
2020-12-05 2021-11-21

List of supervisory organisations authorised by FINMA
2020-12-05 2021-11-21

List of self-regulatory organisations (SROs)
2020-12-05 2021-11-21

List of Swiss central mortgage bond institutions authorised by the Federal Council and supervised by FINMA under FINMASA and the MBA
2020-12-05 2020-12-05

List of rating agencies recognised by FINMA
2020-07-01

List of reviewing bodies for prospectuses licensed by FINMA
2020-12-05 2021-11-21

List of registration bodies licensed by FINMA
2020-12-05 2021-11-21

List of business identification numbers for authorised companies
2020-12-05 2021-11-21

List of representative offices of foreign managers of collective assets authorised by FINMA
2021-11-21

List of portfolio managers and trustees licensed by FINMA
2021-11-21

List of portfolio managers and trustees licensed and supervised by FINMA
2021-11-21

List of representative offices of foreign portfolio managers and trustees authorised by FINMA
2021-11-21



Banks
2020-12-05 2021-11-21

Financial holding companies
2020-12-05 2021-11-21

Investment firms
2020-12-05 2021-11-21

Specialised PFS
2020-12-05 2021-11-21

Support PFS
2020-12-05 2021-11-21

Payment institutions
2020-12-05 2021-11-21

Electronic money institutions
2020-12-05 2021-11-21

Undertakings for collective investment that fall under the Law of 17 December 2010
2020-12-05 2021-11-21

Specialised investment funds that fall under the Law of 13 February 2007
2020-12-05 2021-11-21

Foreign undertakings for collective investment authorised to market their units/shares in Luxembourg
2020-12-05 2021-11-21

Management companies authorised under Chapter 15 of the Law of 17 December 2010
2020-12-05 2021-11-21

Management companies authorised under Chapter 16 of the Law of 17 December 2010
2020-12-05 2021-11-21

Alternative investment fund managers according to the Law of 12 July 2013
2020-12-05 2021-11-21

Pension funds
2020-12-05 2021-11-21

Liability managers
2020-12-05 2021-11-21

Investment companies in risk capital (SICARs)
2020-12-05 2021-11-21

Securitisation undertakings
2020-12-05 2021-11-21

Tied agents established in Luxembourg
2020-12-05 2021-11-21

Credit institutions and persons originating from third countries exercising financial sector activities by free provision of services
2020-12-05 2021-11-21

Central securities depositories
2020-12-05 2021-11-21

Issuers of securities for which Luxembourg is the home Member State pursuant to the Transparency Law
2020-12-05 2021-11-21

Multilateral trading facilities (MTF)
2020-12-05 2021-11-21

Recognised deposit guarantee and investor-compensation schemes
2020-12-05 2021-11-21

Member institutions of the FGDL
2020-12-05 2021-11-21

Members of the SIIL
2020-12-05 2021-11-21

Mortgage credit intermediaries
2020-12-05 2021-11-21

Regulated markets
2020-12-05 2021-11-21

Service providers excluded as per points (i) and (ii) of point (k), and point (I) of Article 3 of the law on payment services
2020-12-05 2021-11-21
Virtual asset service providers
2021-11-21



List of Investment Firms authorised under Regulation 8 (3) and deemed authorised under Regulation 5 (2) of the Statutory Instrument No. 375/2017 European Union (Markets in Financial Instruments) Regulations 2017
2021-05-04 2021-11-01

Register of Data Reporting Service Providers
2021-05-04 2021-11-01

Register of Investment Business Firms authorised under Section 10 of the Investment Intermediaries Act, 1995 (as amended) (Section 10 Register)
2021-05-27 2021-11-08

Register of Investment Business Firms deemed to be authorised as Investment Intermediary (RAIPIs) pursuant to Section 26 of the Investment Intermediaries Act, 1995 (as amended)
2021-05-27 2021-11-18

Register of Investment Product Intermediaries (Section 31 Register)
2021-05-27 2021-11-19

Authorised Irish Collective Asset-management Vehicles, Irish Collective Asset-management Vehicles Act 2015
2021-05-13 2021-10-26

Authorised Designated Investment Companies, Companies Act 1990 Part XIII
2021-05-10 2021-10-20

Authorised Unit Trust Schemes, Unit Trust Act, 1990
2021-05-04 2021-10-20

Authorised Common Contractual Funds, Investment Funds, Companies and Miscellaneous Provisions Act
2021-05-04 2021-10-20

Authorised Investment Limited Partnerships, Investment Limited Partnerships Act, 1994
2021-05-10 2021-10-26

Register of Authorised and Registered Alternative Investment Fund Managers
2021-05-11 2021-11-05

Register of Alternative Investment Fund Managers operating in Ireland on a Branch or Cross-Border Basis
2021-05-10 2021-11-05

Authorised UCITS, European Communities (Undertakings for Collective Investment in Transferable Securities) Regulations 2011
2021-05-12 2021-10-27

Authorised UCITS Management Companies
2021-05-10 2021-11-05

Register of Registered Irish Collective Asset-management Vehicles (ICAV)
2021-04-30 2021-11-19

Register of Charges created by Irish Collective Asset-management Vehicles (ICAV)
2021-05-21 2021-11-19



Australian Financial Services Licensees
2021-03 2021-11

Australian Financial Services Authorised Representatives
2021-03 2021-11

Banned and Disqualified Persons
2021-03 2021-11

Banned and Disqualified Organisations
2016-12

Credit Licensees
2021-03 2021-11

Credit Representatives
2021-03 2021-11

Financial Advisers
2021-03 2021-11

Liquidators
2021-03 2021-11

Registered Auditors
2021-03 2021-11

Self-Managed Super Fund Auditors
2021-03 2021-11



List of Mutual Funds
2017-09-30 2018-03-31 2019-03-31 2020-09-30 2021-09-30

List of Mutual Fund Administrators
2012-09-30 2017-09-30 2020-09-30 2021-09-30



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